Roger D. Maurer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roger Dennis Maurer, who also goes by Roger D Maurer, Roger Maurer, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1986. Roger had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1999 - November 27, 2017
MAURER & ASSOCIATES CAPITAL MANAGEMENT, INC.
February 19, 1986 - July 10, 1996
INVESCO DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MAURER & ASSOCIATES CAPITAL MANAGEMENT, INC.
CRD#: 113262 / SEC#: 801-61810
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
